NIPPON SANGYO SUISHIN KIKO LTD.

OVERVIEW OF NIPPON SANGYO SUISHIN KIKO LTD.

Name Nippon Sangyo Suishin Kiko Ltd.
Representative Jun Tsusaka
Address Atago Green Hills MORI Tower, 17F
2-5-1, Atago, Minato-ku
Tokyo 105-6217 Japan
Telephone +81 3 5401 5600
Fax +81 3 5401 5620
Registration and Certificates Director General of the Kanto Local Finance Bureau (Kinsho)No.3074
・Type II Financial Instruments Business
・Investment Advisory and Agency Business
Memberships Type II Financial Instruments Firms Association
Japan Investment Advisers Association

Complaint settlement procedures

Nippon Sangyo Suishin Kiko Ltd. strives to gain the understanding of customers by responding sincerely and promptly to complaints by establishing Complaint Handling Regulations. The standard process for the settlement of complaints is as follows.

1. We receive a complaint from a customer.
2. A person in charge at Nippon Sangyo Suishin Kiko Ltd. consults with the customer and considers a settlement proposal.
3. We present the settlement proposal and settle the issue.

We accept inquiries and complaints from customers via the contact point described below.

Name
Business Support desk, Nippon Sangyo Suishin Kiko Ltd.
Address
Atago Green Hills MORI Tower, 17F
2-5-1, Atago, Minato-ku
Tokyo 105-6217 Japan
Telephone
+81 3 5401 5600

* Hours: 9:00 a.m. to 5:00 p.m.; Closed on Saturdays, Sundays, national holidays and year-end and new year holidays.

Use of external organization

(1) Measures for settling complaints through the use of external organization
In addition to the complaints settlement measures described above, complaints may be lodged with the organization described below, a fiduciary entrusted by Japan Investment Advisers Association or Type II Financial Instruments Firms Association, both of which a fiduciary entrusted by Japan Investment Advisers Association or Type II Financial Instruments Firms Association, both of which ITOPIA Asset Management Co.,Ltd. is a member of.
If lodging your complaint with this organization, please use the following contact details.Nippon Sangyo Suishin Kiko Ltd. is a member of. If lodging your complaint with this organization, please use the following contact details.

Name
Financial Instruments Mediation Assistance Center (FINMAC), a specified non-profit corporation
Address
Daini Shoken Kaikan, 2-1-1, Kayaba-cho, Nihonbashi, Chuo-ku, Tokyo, Japan 103-0025
Telephone
0120-64-5005 (toll free)

* Hours: 9:00 a.m. to 5:00 p.m.; Closed on Saturdays, Sundays, national holidays and year-end and new year holidays.

The standard process for the settlement of complaints by the Center is as follows. For more details, please contact the Center.
1. A customer lodges a complaint.
2. The Center acts as an intermediary between the customer and the institutional member concerning the complaint.
3. The institutional member discusses the matter with the customer and settles it.

(2) Measures for resolving disputes through the use of external organizations
We resolve disputes through mediation by the Financial Instruments Mediation Assistance Center described above, a specified non-profit corporation. If resolving disputes with us through the Center, please use the above contact details.

The standard process for the resolution of disputes is as follows. For more details, please contact the Center.
1. The customer submits the application for mediation.
2. The application for mediation is accepted and a mediator is selected.
3. The customer pays the mediation fee.
4. The mediator conducts interviews with the customer and the institutional member.
5. The mediation proposal is presented and accepted.